Mark Pearson - Apr 1, 2024 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role
President and CEO, Director
Signature
/s/ Jessica Olich as attorney-in-fact for Mark Pearson
Stock symbol
EQH
Transactions as of
Apr 1, 2024
Transactions value $
-$703,103
Form type
4
Date filed
4/2/2024, 05:33 PM
Previous filing
Mar 6, 2024
Next filing
Apr 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQH Common Stock Options Exercise $427K +20K +2.84% $21.34 725K Apr 1, 2024 Direct F1, F2
transaction EQH Common Stock Sale -$377K -10K -1.38% $37.66 715K Apr 1, 2024 Direct F1, F2, F3
transaction EQH Common Stock Sale -$753K -20K -2.8% $37.66 695K Apr 1, 2024 Direct F1, F2, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction EQH Employee Stock Option (right to buy) Options Exercise $0 -20K -3.3% $0.00 586K Apr 1, 2024 Common Stock 20K $21.34 Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sales reported and options exercised on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023.
F2 Includes Restricted Stock Units.
F3 This transaction was executed in multiple trades at prices ranging from $37.4100 to $38.0400. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4 This transaction was executed in multiple trades at prices ranging from $37.3900 to $38.0500. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F5 Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vest/vested in three installments beginning on March 1, 2019.